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CFA

Carroll Financial Associates Portfolio holdings

AUM $1.88B
1-Year Est. Return 20.52%
This Fund
S&P 500
This Quarter Est. Return
+13.95%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.5B
AUM Growth
+$208M
Cap. Flow
+$35.5M
Cap. Flow %
2.36%
Top 10 Hldgs %
46.75%
Holding
1,758
New
90
Increased
349
Reduced
401
Closed
146

Top Buys

Rank Stock Value
1
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$33.5M
2
MSTB icon
LHA Market State Tactical Beta ETF
MSTB
+$7.7M
3
LSST
Natixis Loomis Sayles Short Duration Income ETF
LSST
+$6.42M
4
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$5.32M
5
EJAN icon
Innovator Emerging Markets Power Buffer ETF January
EJAN
+$5.1M

Top Sells

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$13M
2
ARKG icon
ARK Genomic Revolution ETF
ARKG
+$6.63M
3
PJUL icon
Innovator US Equity Power Buffer ETF July
PJUL
+$6.55M
4
AGZD icon
WisdomTree Trust WisdomTree Interest Rate Hedged US Aggregate Bond Fund
AGZD
+$5.47M
5
EJUL icon
Innovator Emerging Markets Power Buffer ETF July
EJUL
+$4.6M

Sector Composition

Rank Sector Weight
1 Technology 7.07%
2 Financials 5.1%
3 Healthcare 2.68%
4 Consumer Discretionary 2.27%
5 Consumer Staples 1.99%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BIIB icon
326
Biogen
BIIB
$30.6B
$248K 0.02%
1,016
– –
YUMC icon
327
Yum China
YUMC
$16.5B
$247K 0.02%
4,339
– –
ALL icon
328
Allstate
ALL
$68.2B
$245K 0.02%
2,230
-31
-1% -$3.05K
SMH icon
329
VanEck Semiconductor ETF
SMH
$70.1B
$244K 0.02%
2,234
+1,338
+149% +$133K
RDS.A
330
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
$242K 0.02%
6,903
-690
-9% -$21.5K
MELI icon
331
Mercado Libre
MELI
$92.5B
$241K 0.02%
144
+73
+103% +$103K
QTWO icon
332
Q2 Holdings
QTWO
$3.96B
$239K 0.02%
+1,891
New +$204K
DVY icon
333
iShares Select Dividend ETF
DVY
$23.6B
$238K 0.02%
2,476
– –
KEY icon
334
KeyCorp
KEY
$24.3B
$238K 0.02%
14,560
-2,499
-15% -$36.4K
MGC icon
335
Vanguard Morningstar Mega Cap ETF
MGC
$10.4B
$237K 0.02%
1,780
– –
PTON icon
336
Peloton Interactive
PTON
$2.42B
$235K 0.02%
1,550
+718
+86% +$87.5K
PFF icon
337
iShares Preferred and Income Securities ETF
PFF
$13.2B
$229K 0.02%
5,948
-455
-7% -$17K
SUB icon
338
iShares Short-Term National Muni Bond ETF
SUB
$11.4B
$228K 0.02%
2,113
+92
+5% +$9.93K
IAU icon
339
iShares Gold Trust
IAU
$65.1B
$227K 0.02%
6,279
– –
CL icon
340
Colgate-Palmolive
CL
$74.3B
$226K 0.02%
2,648
-102
-4% -$8.43K
COKE icon
341
Coca-Cola Consolidated
COKE
$12.4B
$226K 0.02%
8,500
– –
HSY icon
342
Hershey
HSY
$36.7B
$226K 0.02%
1,490
– –
MRSH
343
Marsh
MRSH
$91B
$226K 0.02%
1,933
+1
+0.1% +$114
QCLN icon
344
First Trust NASDAQ Clean Edge Green Energy Index Fund
QCLN
$619M
$222K 0.01%
3,164
– –
EPR icon
345
EPR Properties
EPR
$4.63B
$220K 0.01%
6,789
+5,879
+646% +$173K
MKL icon
346
Markel Group
MKL
$22.8B
$220K 0.01%
213
+7
+3% +$6.98K
BSV icon
347
Vanguard Short-Term Bond ETF
BSV
$45.6B
$219K 0.01%
2,653
-495
-16% -$41K
CCI icon
348
Crown Castle
CCI
$31.3B
$218K 0.01%
1,373
+131
+11% +$21.2K
QQQN
349
DELISTED
VictoryShares Nasdaq Next 50 ETF
QQQN
$217K 0.01%
+6,845
New +$197K
OKTA icon
350
Okta
OKTA
$26.2B
$216K 0.01%
853
+828
+3,312% +$197K
12 13
14
15 16

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RFA
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Carroll Financial Associates's Q4 2020 Portfolio in Review

As of Q4 2020, Carroll Financial Associates held 1,758 positions worth $1.5B, up 16% from $1.3B the previous quarter. Its ten largest holdings account for 47% of the portfolio.

Carroll Financial Associates's Q4 2020 filing shows 90 new, 349 increased, 401 reduced and 146 closed positions. Its largest new stake was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M. The largest sale was Global X Adaptive US Factor ETF, an estimated $13M.

By sector, the portfolio is most concentrated in Technology at 7.1% of assets, down from 7.4% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q4 2020 buy was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M.
  • Carroll Financial Associates added most to Janus Henderson Short Duration Income ETF in Q4 2020, an estimated $33.5M increase.
  • Carroll Financial Associates's biggest Q4 2020 reduction was Global X Adaptive US Factor ETF, cutting an estimated $13M.
  • Carroll Financial Associates fully exited Innovator US Equity Power Buffer ETF July in Q4 2020, selling an estimated $6.55M.
  • Carroll Financial Associates's ten largest holdings make up 47% of its $1.5B portfolio in Q4 2020.
  • Carroll Financial Associates opened 90 new positions and closed 146 in Q4 2020.
  • Carroll Financial Associates's portfolio value rose 16% quarter-over-quarter to $1.5B.

Based on Carroll Financial Associates's 13F filing for Q4 2020, filed 8 Jan 2021.